Sr. Compliance Analyst

About This Job

Conduct compliance risk assessments, quality assurance reviews, compliance monitoring processes, and company-wide compliance training, covering high risk activities. Support business units compliance, marketing requests and regulatory change management and other duties as assigned.

Responsibilities:

Conducts compliance reviews, scheduled loan level documentation, transactional testing, risk assessments on lending products and services through focused and random sample basis

Prepares written reports detailing findings and recommendations for changes or enhancement to policies, procedures and work flow

Participate in touchpoint meetings with business unit leaders and communicate regulatory change management

Perform QA continuous monitoring of regulatory compliance through the data driven compliance reporting processes

Perform review and approval of marketing and advertising collateral items (i.e. Axos and third party) within established SLA's

Work directly with various business units and third parties to ensure risk assessments are completed in compliance with regulatory requirements and Axos policies.

Evaluate process maps, procedures, policies, and management directives for accuracy and completeness

Proactively identify, analyze, summarize and communicate improvements to compliance procedures and programs.

Requirements:

Bachelor's degree

3+ years' in banking/mortgage banking/audit/regulatory compliance

1+ year's of Consumer Lending Underwriting

Experience at loan level documentation review and transaction analysis Understanding of all lending compliance regulations

Understanding of banking regulatory, audit and compliance programs for deposit compliance as it relates to federally regulated banks